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A Background Check for the Financial Industry

For more than 30 years, Sterling has helped the financial community comply with state, federal and international law. Thorough financial background checks on prospective employees help financial service companies reduce exposure to accounting fraud, money laundering, terrorist financing, embezzlement and other risks.

In addition to identity verification and criminal history checks, Sterling recommends that business background checks include investigations such as OFAC and NASD/SEC checks and credit checks. As part of the pre-employment process, this level of background screening is a critical component in protecting the integrity of the workplace, enterprise computer technology and operating systems and sensitive information. Financial background checks on individuals are also frequently part of the risk-reduction strategy and know-your-customer (KYC) process applied to loan and lease transactions.

When performing a pre-hire business background check, Sterling understands that financial service companies regularly require more than credit checks and criminal history checks to help make informed hiring decisions. Verification of education and employment history, and personal reference verification, are essential to ensuring that all personnel meet the highest standards of professional integrity. Sterling's verification process extends to the broad range of professional certifications, accreditations and licenses associated with the financial services industry, including those maintained via FINRA, NASAA and NFA financial securities examinations.

Financial services firms frequently require more intensive corporate due diligence and background investigation services to support their transaction, mergers and acquisitions, underwriting and know-your-client responsibilities. We provide these services through our wholly-owned subsidiary, Bishops Services Inc., recognized for their Bishops Reports on companies and their senior executives.

From investment banks, private equity firms and hedge funds to U.S. and foreign banks, insurance companies and more, preeminent institutions rely on Sterling for background screening that provides the business intelligence vital to today's global economy.

On average, 2% of the employees of our pilot customers have been jailed since their hire date.